ML040070597

for Manufacturing and Distribution Licensees, NRC Threat Advisory and Protective Measures System

ML040070597
Person / Time
Issue date:	01/12/2004
From:	Office of Nuclear Material Safety and Safeguards
To:
Turtil R NSIR/DNS 301-415-0260
References
RIS-02-012M
Download: ML040070597 (6)

See also: RIS 2002-12M

Text

SAFEGUARDS INFORMATION - MODIFIED HANDLING

UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF NUCLEAR MATERIALS SAFETY AND SAFEGUARDS

WASHINGTON. D.C. 20555-0001

January 12, 2004

NRC REGULATORY ISSUE SUMMARY 2002-12M

MANUFACTURING AND DISTRIBUTION LICENSEES

NRC THREAT ADVISORY AND PROTECTIVE MEASURES SYSTEM (U)

ADDRESSEES

LICENSEES AUTHORIZED TO MANUFACTURE OR INITIALLY TRANSFER ITEMS

CONTAINING RADIOACTIVE MATERIAL FOR SALE OR DISTRIBUTION AND POSSESS

CERTAIN HIGH-RISK RADIOACTIVE MATERIAL OF CONCERN

INTENT

The U.S. Nuclear Regulatory Commission (NRC or Commission) is issuing this Regulatory

Issue Summary (RIS) to inform addressees of changes to the descriptions of the various threat

advisory conditions and provide guidance that addressees may use in preplanning graded

protective measures to respond to changes in the threat environment. It is noted that a RIS is

generally used to communicate with the nuclear industry on a variety of matters for which no

response or action is required. This RIS communicates actions the NRC considers appropriate

at each threat level. In the interest of expediency, the Commission has determined that

issuance of this RIS is the most efficient mechanism to align the Department of Homeland

Security, NRC, and licensee expectations with respect to licensees response to threat

advisories.

BACKGROUND

The Office of Homeland Security (OHS) developed a Homeland Security Advisory System

(HSAS) to provide a comprehensive and effective system to disseminate information regarding

the risk of terrorist attacks to Federal, State, and local authorities and the public. The HSAS

implements Homeland Security Presidential Directive 3, March 11, 2002, as amended by

Homeland Security Presidential Directive 5, February 28, 2003 (Attachment 1). This new

system includes five color-coded threat conditions with a description of corresponding actions at

each level. These conditions are:

Warning: Violation of Section 147 of the Document transmitted herewith contains Safeguards

Atomic Energy Act of 1954, "Safeguards Information. When separated from Attachment 2,

Information" is subject to Civil or Criminal this document is Decontrolled.

penalties.

SAFEGUARDS INFORMATION - MODIFIED HANDLING

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 Green (Low Condition) Low risk of terrorist attack

 Blue (Guarded Condition) General risk of terrorist attack

 Yellow (Elevated Condition) Significant risk of terrorist attack

 Orange (High Condition) High risk of terrorist attack

 Red (Severe Condition) Severe risk of terrorist attack

DISCUSSION

The HSAS provides a consistent national framework for allowing government officials and

citizens to communicate the nature and degree of terrorist threats. The advisory system

characterizes appropriate levels of vigilance, preparedness, and readiness for each threat

condition and describes associated actions that should be taken to counter and respond to

terrorist activities.

In declaring threat conditions, the Secretary of Homeland Security in consultation with the

Attorney General, members of the Homeland Security Council, and any other appropriate

federal agency heads, will consider, but not be limited to, the following factors:

 To what degree is the threat information credible?

 To what degree is the threat information corroborated?

 To what degree is the threat specific and/or imminent?

 How grave are the potential consequences of the threat?

 To what degree is the target vulnerable to the threat?

HSAS advisories regarding threat conditions may be declared for the entire nation or for a

specific geographical area, or functional or industrial sector, and will be sent to local, State, and

Federal government agencies as appropriate. In general, the threat conditions escalate as the

likelihood or imminence of an attack increases.

Although the threat condition will be determined by the Secretary of Homeland Security, the

NRC has the obligation under Presidential Homeland Security Directive 3 to establish the

appropriate protective measures for facilities under its regulatory authority. In addition, the

NRC has the obligation to respond to risks, threats, incidents, and events at NRC-regulated

facilities, or involving NRC-regulated materials, including radioactive material possessed by

organizations licensed by Agreement States when necessary to promote the common defense

and security.

Upon a declaration of an HSAS threat condition, the NRC will promptly notify affected NRC and

Agreement State licensees and the affected Agreement States of the threat condition and of

the appropriate protective measures. In addition, the NRC may find it appropriate to notify

affected licensees to establish certain protective measures in the absence of an HSAS

declaration. The NRC could take such a step, for example, to respond to an emergency or a

site-specific situation.

The NRC is using this RIS to announce its threat advisory and protective measures system to

implement the HSAS for manufacturing and distribution licensees. The NRC will relay

information relating to the threat conditions using the color-coded system defined by the HSAS.

The NRC has also defined protective measures in five levels, which generally correlate with the

five color-coded conditions of the HSAS. Protective measures at each level build upon the

actions defined in the lower levels. For example, measures at level III will include those

measures taken at levels I and II.

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 The level I (Low) protective measures, which generally correspond to the green

threat condition, are considered to be the routine level of operation and are

satisfied by licensees maintaining the security programs required by the

regulations, individual licenses, and Orders. Measures to enhance security need

to be available so that they can be readied or implemented in higher threat

conditions when called upon.

 The level II (Guarded) protective measures, which generally correspond to the

blue threat condition, warrant more action by the licensees, but will generally not

involve significant action beyond the routine level of operation. These actions

would typically relate to readiness, e.g., notifying personnel to standby, or

bringing in additional security officers to prepare for an enhanced response.

Actions taken at level II will include those taken at level I.

 The level III (Elevated) protective measures, which generally correspond to the

yellow threat condition, warrant enhanced security measures and additional

resources, perhaps on a sustained basis, but would be based on hardware and

personnel already at the licensees disposal. (Note: When the HSAS was first

announced on March 12, 2002, OHS also announced that the country was then

considered to be in a Yellow threat condition.) Actions taken at level III will

include those taken at levels I and II.

 The level IV (High) protective measures, which generally correspond to the

orange threat condition, assume that the licensees security organization is at its

highest sustainable level and that the licensee will request augmentation by local

and State, and possibly Federal, resources to provide additional defensive

capabilities to the extent such resources can be made available. (Note: NRC

advisories will provide additional specific information to the licensee(s) as

information about the threat develops. Any additional licensee actions will be

based upon threat specific information). Actions taken at level IV will include

those taken at levels I, II, and III.

 The level V (Severe) protective measures, which generally correspond to the red

threat condition, assume that the licensee will request augmentation by Federal

resources beyond State and local resources to provide additional defensive

capabilities to the extent such resources can be made available to enhance the

security of the facility. NRC will facilitate implementation of this added Federal

presence. (Note: It is expected that this condition will be limited to one or a very

small number of licensees for a limited period of time. Any additional specific

actions will be based on an ongoing assessment of the threat by the NRC and

other Federal agencies.) Actions taken at level V will include those taken at

levels I, II, III, and IV.

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When a change in threat condition that affects NRC and Agreement States licensees, the NRC

will issue a threat advisory notifying its licensees and Agreement States of the change. The

NRC will refer licensees to the recommended protective measures outlined in the table

attached to this RIS. Regardless of the current threat condition, licensees are required to

comply with existing regulations, licenses, and Orders. The table is designed to provide a clear

description of the basic actions appropriate to achieve the desired level of protection. The NRC

may tailor the protective measures to be implemented based on the nature of the threat,

including specific instructions regarding protection against a specific mode of attack.

In some cases, the circumstances of a particular threat may warrant that additional security

measures be implemented beyond those provided in the attached table. For example, such

additional measures may be necessary depending upon the type of licensee affected, the

security risks associated with various licensed activities, the specific vulnerabilities at a given

site, the suspected mode of attack, and the likelihood and nature of the threat. Although most

terrorist attacks occur without specific warning, whenever possible, the NRC will provide

information about the nature and projected time frame of the threat.

The protective measures in the attached table are assigned to particular threat levels, reflecting

the seriousness of the threat and the need for timely action to address the threat. Therefore,

prompt implementation of the measures is essential if the steps are to be effective in protecting

the facility.

The Commission may need to direct additional measures to deal with a fast-moving situation in

the transition period before a formal declaration of a threat escalation. HSPD-3 states that

agency heads retain the authority to respond, as necessary, to risks, threats, incidents, or

events at facilities within the specific jurisdiction of their department or agency. In these cases,

the NRC threat advisory will include additional specific guidance beyond what is generically

prescribed in the tables for a particular threat level.

NRC will update the table enclosed with this RIS (Attachment 2) as necessary to reflect

changes in protective measures for various threat levels and to reflect results from its ongoing

comprehensive review of security matters. In addition, this RIS will be reviewed at least once a

year and revised as necessary consistent with requirements to report changes to the

Department of Homeland Security by August 1 of each year. Licensees seeking to provide

input to the RIS and possible revisions should forward comments to the contacts listed below.

FEDERAL REGISTER NOTIFICATION

A notice of opportunity for public comment was not published in the Federal Register because

this RIS is informational. The Commission also plans to issue additional Regulatory Issue

Summaries in this series to cover additional classes of licensees, or NRC-licensed activities, as

NRCs review progresses. Any specific comments should be forwarded to the contacts listed

below.

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PAPERWORK REDUCTION ACT STATEMENT

This RIS does not request any information collection; therefore, this RIS is not subject to the

Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)

If you have any questions about this matter, please telephone or e-mail the technical contacts

listed below.

/RA/

Charles L. Miller, Director

Division of Industrial and

Medical Nuclear Safety

Office of Nuclear Materials Safety

and Safeguards

Contact: Frederick C. Sturz, NSIR/DNS

301-415-6678, fcs@nrc.gov

John Hickey, NMSS/IMNS

301-415-7231, jwh1@nrc.gov

Richard L. Blanton, STP

301-415-2322, rlb@nrc.gov

Enclosures: (1) HSPD-3, Homeland Security Advisory System, as amended by HSPD-5

(2) Threat Conditions and Specific Actions for Certain Manufacturing and

Distribution Licensees

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PAPERWORK REDUCTION ACT STATEMENT

This RIS does not request any information collection; therefore, this RIS is not subject to the

Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)

If you have any questions about this matter, please telephone or e-mail the technical contacts

listed below.

/RA/

Charles L. Miller, Director

Division of Industrial and

Medical Nuclear Safety

Office of Nuclear Materials Safety

and Safeguards

Contact: Frederick C. Sturz, NSIR/DNS

301-415-6678, fcs@nrc.gov

John Hickey, NMSS/IMNS

301-415-7231, jwh1@nrc.gov

Richard L. Blanton, STP

301-415-2322, rlb@nrc.gov

Enclosures: (1) HSPD-3, Homeland Security Advisory System, as amended by HSPD 5

(2) Threat Conditions and Specific Actions for Certain Manufacturing and

Distribution Licensees

• See Previous Concurrence Accession No. ML040070597

OFFICE NSIR IMNS NSIR IMNS OGC

NAME FSturz* CCox* MLayton* TEssig* JGoldberg*

DATE 12/29/2003 12/30/2003 12/29 /2003 12/30 /2003 12/31 /2003

OFFICE NSIR IMNS

NAME GTracy* CMiller*

DATE 12/30/2003 12/30 /2003 / / / / / /

Official Record